Michael Rosensaft

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 38

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

5/21/2025 / CFTC , Cryptocurrency , Enforcement Actions , Financial Institutions , Financial Markets , Financial Regulatory Reform , Government Agencies , Investment Funds , Regulatory Reform , Securities Regulation

Businesses Must Prepare For Expansive AML Reporting of Beneficial Ownership Interests

As covered in our earlier advisory, "AML Enforcement Continues to Trend in 2021," the recently passed National Defense Authorization Act for fiscal year 2021 included the Anti-Money Laundering Act of 2020 (AML Act), which...more

4/30/2021 / Anti-Money Laundering , Bank Secrecy Act , Beneficial Owner , BSA/AML , Financial Crimes , Financial Institutions , FinCEN , Money Laundering , Policies and Procedures , Suspicious Activity Reports (SARs)

AML Enforcement Continues to Trend in 2021

Federal regulators are increasing their scrutiny of companies' compliance with Anti-Money Laundering and Bank Secrecy Act Obligations, and if January is any indication, 2021 will be a record year for penalties. Just in the...more

3/3/2021 / Anti-Money Laundering , Bank Secrecy Act , BSA/AML , Financial Crimes , Financial Institutions , FinCEN , Money Laundering

Corporate & Financial Weekly Digest - Volume X, Issue 19

In This Issue: - FINRA's NAC Strengthens Sanction Guidelines Related to Fraud and Suitability - CFTC Revises Interpretation on Forward Contracts with Embedded Volumetric Optionality - CFTC Requests Public...more

5/18/2015 / Banking Sector , Broker-Dealer , CFTC , Chicago Mercantile Exchange (CME) , Class Action , Department of Justice (DOJ) , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Virtual Currency

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